Investment management
Subtitle: law and practice
By: edited by Timothy Spangler.
Contributors: Spangler, Timothy.
Publisher: Oxford University Press
Published: 2010
Place of publication: New York
Language: eng
ISBN-13: 9780199582501
Subjects: Investments -- Law and legislation -- United States; Investments -- Law and legislation -- Great Britain; Portfolio management -- United States; Portfolio management -- Great Britain
Description: "Investment Management: Law and Practice  provides an in-depth guide to the processes and legal and regulatory issues relating to investment management. Edited by Timothy Spangler, a New York qualified lawyer and English solicitor, this work provides a comparative consideration of UK and US practice.    The work adopts a three part structure. The first part examines the legal principles underlying investment management and the regulatory position in both the UK and the US. It provides lawyers with guidance on the tort aspects of practice in this area, looking at the common law relating to standard of care, contractual duty and fiduciary duty. The second part includes a detailed consideration of those aspects of particular relevance to investment management law, such as derivatives, soft commission and market abuse. The third part considers pertinent issues relevant to each client sector to provide a practical research tool for advising different categories of client.   This work will offer valuable information on the regulatory changes and market activity in this dynamic and increasingly specialist practice area"--Provided by publisher.
Table of contents: title: Machine generated contents note:; title: I: Legal and Regulatory Framework; title: 1. Introduction; title: 2. The Legal Basis of Investment Management; title: 3. Regulation of Investment Managers - United Kingdom; title: 4. Regulation of Investment Managers - United States; title: 5. Standard of Care; title: 6. Contractual Duties; title: 7. Fiduciary Duties; title: II: Key Topics; title: 8. Advertising and Marketing; title: 9. Proxy Voting; title: 10. Best Execution; title: 11. Soft Commission; title: 12. Data Protection and Privacy; title: 13. Market Abuse and Insider Dealing; title: 14. Derivatives; title: 15. Stakebuilding and Ownership Disclosure; title: 16. Taxation; title: 17. Outsourcing; title: 18. Industry Best Practice and Guidelines; title: III: Clients; title: 19. US Mutual Funds; title: 20. UK and European Closed-Ended Listed Funds; title: 21. UK Authorised Funds; title: 22. Erisa Plans; title: 23. Occupational Pension Schemes; title: 24. Local Government Pension Schemes; title: 25. UK Charities; title: 26. High Net Worth Individuals; title: 27. Sovereign Wealth Funds; title: 28. Hedge Funds; title: 29. US Charities and Endowments; title: 30. With Profit-Funds.